RIA News

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FIXED INCOME JUL 17, 2014
Inflation question, bond exit fees raise debate over Fed policy

Skeptics raise their voices as the central bank continues to exit quantitative easing while denying rising prices.

By Jeff Benjamin
EQUITIES JUL 17, 2014
Barclays in the hot seat over charges it courted high-frequency traders

<i>Breakfast with Benjamin:</i> Barclays tagged for HFT. Plus: A looming 401(k) crisis, the marriage math for gay couples, the fuzzy math of inflation data, tapping into the fracking boom, and Russian stocks are not for the meek.

By Jeff Benjamin
INDEPENDENT BROKER DEALERS JUL 17, 2014
Ex-John Thomas hedge fund manager loses bid to toss SEC case

By Andrew Leigh
INDEPENDENT BROKER DEALERS JUL 17, 2014
Independent broker-dealer a magnet for brokers from troubled firms

Thirty-one of 37 brokers at IAA Financial, partly owned by Finra board small firm rep Kevin Carreno, came from firms Finra had expelled.

By Mason Braswell
EQUITIES JUL 17, 2014
European economic growth disappoints, adding pressure to the ECB strategy

On the menu for today's <i>Breakfast with Benjamin</i>, European economic growth falls short of economists' expectations, plus news on Citigroup, ETFs and much more.

By Jeff Benjamin
REGULATION AND LEGISLATION JUL 17, 2014
Ex-UBS banker pleads guilty in 17-year U.S. tax scheme

Martin Lack admitted that for 17 years he helped U.S. clients maintain secret overseas accounts.

By Matt Ackermann
RIA NEWS JUL 16, 2014
SEC keeps fiduciary promises vague for 2015

Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.

By Mark Schoeff Jr.
RIA NEWS JUL 16, 2014
A seller's market for sharp advisers

2014 M&amp;A activity is on track for its first year-over-year increase since 2010, and a recent major RIA deal should be enough to alert well-run advisory firms that it's a seller's market.

By Jeff Benjamin
Lou Reed's will teaches a privacy lesson
RETIREMENT PLANNING JUL 16, 2014
Lou Reed's will teaches a privacy lesson

A living trust can keep your affairs from public consumption; a will, on the other hand, is public record.

By by Danielle and Andy Mayoras
EQUITIES JUL 16, 2014
CEO cussing is now a gosh darn market indicator

On today's <i>Breakfast with Benjamin</i> menu, learn about an odd new market indicator, the implications of ongoing investor optimism and much more.

By Jeff Benjamin
RIA NEWS JUL 16, 2014
Market gains, organic growth help RIAs achieve record profits

More than one-third of firms have doubled AUM and revenue since market lows of '09.

By Minda Smiley
INDEPENDENT BROKER DEALERS JUL 16, 2014
Opinions on bull market split following most recent run-up

After the S&amp;P 500 reaches new heights, new questions surface on whether the market is headed up or down.

By Bruce Kelly
PRACTICE MANAGEMENT JUL 16, 2014
Morgan fined $1 million in retired-broker snafu

Wirehouse slapped with fine after Finra alleged it paid retired brokers $100M in commissions without making sure they had stopped providing advice.

By Mason Braswell
RETIREMENT PLANNING JUL 16, 2014
Updated book is an essential guide to Social Security

Veteran Social Security Administration employee shares how retirement, disability and survivor programs work.

By Mary Beth Franklin
EQUITIES JUL 16, 2014
What the stock market's first half tells us about the second

By Andrew Leigh
OPINION JUL 16, 2014
Five steps to protect your wealth after you sell your company

You can keep your personal finances from taking a back seat to the transaction, but your window of time is limited after you sign a letter of intent

By By Michael J. Montgomery, James R. Cody and Claudia B. Sangster
EQUITIES JUL 16, 2014
Frothy markets have investors turning to short-term bets

<i>Breakfast with Benjamin:</i> Going short-term with investments. Plus: Watching the Fed chase the markets, punishing corporate taxes force more companies overseas, the Dow inches toward another milestone, the pros and cons of 401(k) loans, and you too can be a bond trader.

By Jeff Benjamin
RIA NEWS JUL 16, 2014
Four top lessons for financial advisers from this year's tax sticker shock

With clients still smarting from April 15, now is the time to talk with them about strategies for lowering their tax burden.

By Chad Smith
FINTECH JUL 16, 2014
How technology affects your firm's value

Four key questions to assess your readiness for a merger or acquisition.

By gfriedman
ETFS JUL 16, 2014
BlackRock CEO Fink's comments on exotic funds divide ETF community

Chief executive says leveraged ETFs could 'blow up' the industry, but some ETF fans disagree.

By Trevor Hunnicutt